RIMS Career Center

Agency: U.S. Securities and Exchange Commission

Position:  SEC FELLOW - SECURITIES COMPLIANCE EXAMINER

Location: Washington, DC

Salary: $125,775 - $261,400 per year

Open & Close Dates: 03/20/2023 to 04/06/2023

Job Link: https://www.usajobs.gov/job/713420700

Summary:

The Event and Emerging Risk Examination Team within the Division of Examinations is filling one SEC Fellow - Securities Compliance Examiner, SK-1831-14 position in one of the following locations: Atlanta, GA; Boston, MA; Chicago, IL; Denver, CO; Ft Worth, TX; Los Angeles, CA; Miami, FL; Philadelphia, PA; New York, NY; San Francisco, CA; Salt Lake City, UT or Washington, DC.

The Division of Examinations' mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.

If selected, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

Typical Duties Include:

Address exigent threats, incidents, and emerging risks through the conduct of examinations and inspections, firm engagement meetings, and monitoring activities;

Plan and conduct examinations, conduct interviews of compliance professionals, develop reports of findings, communicate verbally in meetings, and draft detailed findings in reports of registered investment advisers, investment companies, broker-dealers, clearing agencies, and private fund managers;

Provide technical assistance and support in one or more of the Division's programs with emphasis on registered self-regulatory organizations, investment companies, investment advisers, broker-dealers, transfer agents, and clearing agencies, (collectively "registrants");

Provide technical advice and assistance in the areas of registrant operations, evaluating internal control processes, performing complex and difficult assignments supporting the mission of the Division of Examinations; and

Analyze the methods used for valuing a portfolio of securities, reconstructing records and process flows, analyzing cash-management systems, investigating new financial products, analyzing performance calculations, and/or analyzing risk.

Conditions of Employment

CITIZENSHIP: This position is open to US Citizens.